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HARRISBURG, PA 17120-0400
In Re: Westmoreland Economic File Docket: 20-003-L
Dev Initiative for Growth, X-ref. Order No. 151-SL
Respondent Date Decided: 6/23/21
Date Mailed: 6/30/21
Before: Nicholas, A. Colafella, Chair
Mark, R. Corrigan, Vice Chair
Roger Nick
Melanie DePalma
Michael A. Schwartz
Shelley Y. Simms
This is a final adjudication of the State Ethics Commission as to the alleged delinquency
and/or deficiency of expense report(s) required to be filed pursuant to Pennsylvania's lobbying
disclosure law, 65 Pa.C.S. § 13AOI et sue., hereinafter referred to as the "Lobbying Disclosure
Law.
The Investigative Division initiated these proceedings by filing with the State Ethics
Commission and serving upon Respondent Westmoreland Economic Dev Initiative for Growth
(hereinafter also referred to as "Respondent") a Notice of Alleged Noncompliance. The
Respondent did not file an Answer, Appeal, or other Request for Hearing. The record is complete.
The Findings in this Order are derived from the Notice of Alleged Noncompliance filed by the
Investigative Division.
Effective January 1, 2017, the Pennsylvania Department of State ("Department of
State") increased the thresholds, under 65 Pa.C.S. § 13A06 for registration under 65 Pa.C.S.
§ 13A04 and the threshold for reporting under 65 Pa.C.S. § 13A05(d) from $2,500.00 to
$3,000.00.
In 2018 the Lobbying Disclosure Law was amended by Act 2 of 2018, and as of April
16, 2018, the Department of State will not accept paper registrations or expense reports.
1. ALLEGED NONCOMPLIANCE:
That Respondent, in its capacity as a principal: (1) failed to properly file a principal
registration statement as required by Section 13A04 of the Lobbying Disclosure Law, 65
Pa.C.S. § 13A04, when Respondent failed to, include on its registration statement
filed/renewed with the Department of State on January 28, 2019, for the 2019-2020
registration period, the name and email address of Respondent's, authorized representative,
Westmoreland Economic Dev Initiative for Growth, 20-003-L
Page 2
employee, or agent; and (2) negligently failed to timely file a quarterly expense report
pursuant to Section 13A05 of the Lobbying Disclosure Law, 65 Pa.C.S. § 13A05, for the
third (3`d) quarter of 2019.
II. FINDINGS:
1. Respondent is Westmoreland Economic Dev Initiative for Growth ("Respondent") and
was a registered principal as that term is defined by the Lobbying Disclosure Law, Act 134
of 2006, 65 Pa.C.S. § 13AO1 et sew.
a. Respondent initially registered as a principal with the Department of State on April
7, 2014, for the registration period January 1, 2013, through December 31, 2014.
b. Respondent's registration statement indicates that lobbying commenced on April
1, 2014.
2. Respondent filed a principal registration statement with the Department of State for the
registration period January 1, 2019, through December 31, 2020.
a. By [filing a principal registration statement] with the Department of State,
Respondent consented to receive service of notices, other official mailings, or
process at the address listed on the registration statement.
b. Respondent was assigned the principal registration number "P42370."
c. In filing its principal registration [statement], Respondent identified its registered
mailing address as:
136 Community Building Road
Leechburg, PA 15656
The Lobbying Disclosure Law, specifically 65 Pa.C.S. § 13A04, states the following
regarding the registration of an entity as a principal:
§ 13A04. Registration
a. General rule. —Unless excluded under section 13A06
(relating to exemption from registration and reporting), a
lobbyist, lobbying firm or a principal must register with the
department electronically using the computerized filing
system developed by the department that is consistent with
the purposes of this chapter within ten days of acting in any
capacity as a lobbyist, lobbying firm or principal.
Westmoreland Economic Dev Initiative for Growth, 20-003-L
Page 3
Registration shall be biennial and shall begin January 1,
2007.
b. Principals and lobbying firms.--
1. A principal or lobbying firm required to register
under subsection (a) shall file a single registration
statement setting forth the following information
with the department:
i. Name of the business.
ii. Permanent address.
iii. Daytime telephone number.
iv. E-mail address of the authorized
representative employee or agent, if
available.
V. Nature of business.
vi. Name, registration number and acronym
of any affiliated political action
committees,
vii. Name and permanent business address
of each individual who will for economic
consideration engage in lobbying on
behalf of the principal or lobbying firm.
viii. Registration number when available.
ix. Name of the authorized representative,
employee or agent.
d. Amendments.-
1. If there is a change of information required for the
registration statement under subsection (b)(1) or (2)
or (c), an amended registration statement shall be
filed with the department electronically using the
computerized filing system developed by the
department that is consistent with the purpose of this
chapter within 14 days after the change occurs.
2. When there is a change in information required for
the registration statement under subsection (b)(3), an
amended registration statement shall be filed with the
department electronically using the computerized
filing system developed by the department that is
Westmoreland Economic Dev Initiative for Growth, 20-003-L
Page 4
consistent with the purpose of this chapter within 14
days of the end of the year in which the change
occurs.
65 Pa.C.S. § 13A04(a), (b)(1), (d).
4. In addition to the Lobbying Disclosure Law, the duly promulgated Regulations provide
further information in relation to registration periods and reporting periods;
§ 51.3. Registration periods and reporting periods.
a. Registration under section 13A04 of the act (relating to
registration) shall be biennial. The first registration period
which commenced January 1, 2007, continues through
December 31, 2008. Subsequent registrations shall
commence on January 1 of each odd numbered year.
51 Pa. Code § 51.3(a).
5. Section 13A05 of the Lobbying Disclosure Law sets forth, in part, the following
requirements for the contents of quarterly reporting forms filed by principals:
§ 13AQ5. Reporting
(a) General rule.-- A registered principal shall, subject to the
penalties under 18 Pa.C.S. § 4904 (relating to unsworn
falsification to authorities), file quarterly expense reports
with the department electronically using the computerized
filing system developed by the department that is consistent
with the purpose of this chapter no later than 30 days after
the last day of the quarter.
(b) Content.--
(1) Each expense report must list the names and
registration numbers when available of all lobbyists
by whom lobbying is conducted on behalf of the
principal and the general subject matter or issue
being lobbied.
(2) Each expense report shall include the total costs of
all lobbying for the period. The total shall include all
office expenses, personnel expenses, expenditures
related to gifts, hospitality, transportation and
Westmoreland Economic Dev Initiative for Growth, 20-003-L
Page 5
lodging to State officials or employees, and any other
lobbying costs. The total amount reported under this
paragraph shall be allocated in its entirety among the
following categories:
(i) The costs for gifts, hospitality, transportation
and lodging given to or provided to State
officials or employees or their immediate
families.
(ii) The costs for direct communication.
(iii) The costs for indirect communication.
(iv) Expenses required to be reported under this
subsection shall be allocated to one of the
three categories listed under this section and
shall not be included in more than one
category.
65 Pa.C.S. § 13A05(a), (b)(1)-(2).
6. In addition to the Lobbying Disclosure Law, the duly promulgated Regulations provide
further instructions in relation to registration periods and reporting periods:
§ 51.3. Registration periods and reporting periods.
(b) Reporting under section 13A05 of the act (relating to
reporting) shall be quarterly within each calendar year: for
January through March; April through June; July through
September; and October through December. Quarterly
expense reports shall be filed on or before the 30th day after
the quarterly reporting period ends.
51 Pa. Code § 51.3(b).
7. [As a principal that has filed/renewed a registration statement, Respondent is required to
electronically file with the Department of State either a quarterly expense report or a
statement of failure to meet the reporting threshold for each quarter covered by the
registration statement, by no later than the 30t" day after each quarterly reporting period
has ended. 65 Pa.C.S. § 13A05(a), (d); 51 Pa. Code § 55.1(d)].
Section 13A05 of the Lobbying Disclosure Law additionally sets forth the threshold with
regard to reporting expenditures:
Westmoreland Economic Dev Initiative for Growth, 20-003-L
Page 6
(d) Thresholds for reporting.-- An expense report required
under this section shall be filed electronically using the
computerized filing system developed by the department
that is consistent with the purpose of this chapter when total
expenses for lobbying exceed [$3,000] for a registered
principal in a reporting period. In a reporting period in which
total expenses are [$3,000] or less, a statement to that effect
shall be filed electronically using the computerized filing
system developed by the department that is consistent with
the purpose of this chapter.
65 Pa.C.S. § 13A05(d).
9. Section 13A03 of the Lobbying Disclosure Law defines the following terms:
"Lobbying." An effort to influence legislative action or
administrative action in this Commonwealth. The term includes:
(1) direct or indirect communication;
(2) office expenses; and
(3) providing any gift, hospitality, transportation or lodging to a
State official or employee for the purpose of advancing the
interest of the lobbyist or principal.
"Legislative action." An action taken by a State official or
employee involving the preparation, research, drafting,
introduction, consideration, modification, amendment, approval,
passage, enactment, tabling, postponement, defeat or rejection of:
(1) legislation;
(2) legislative motions;
(3) a veto by the Governor; or
(4) confirmation of appointments by the Governor or
appointments to public boards or commissions by a member
of the General Assembly.
"Legislation." Bills, resolutions, amendments and nominations
pending or proposed in either the Senate or the House of
Representatives. The teen includes any other matter which may
become the subject of action by either chamber of the General
Assembly.
Westmoreland Economic Dev Initiative for Growth, 20-003-L
Page 7
"Direct communication." An effort, whether written, oral or by
any other medium, made by a lobbyist or principal, directed to a
State official or employee, the purpose or foreseeable effect of
which is to influence legislative action or administrative action. The
term may include personnel expenses and office expenses.
65 Pa.C.S. § 13A03.
10. [As a principal that has filed/renewed a registration statement, Respondent is required to
electronically file with the Department of State either a quarterly expense report or a
statement of failure to meet the reporting threshold for each quarter covered by the
registration statement, by no later than the 301h day after each quarterly reporting period
has ended. 65 Pa.C.S. § 13A05(a), (d); 51 Pa. Code § 55.1(d)].
a. Respondent filed a quarterly expense report for the second (2"d) quarter of 2019 on
August 15, 2019.
b. Respondent did not file a third (3`d) quarter 2019 Expense Report by October 30,
2019.
11. The Regulations promulgated under the Lobbying Disclosure Law specifically provide the
following in relation to a delinquent filing:
§ 51.4. Delinquency.
(a) A registration statement or report required to be filed under
section 13A04 or 13A05 of the act (relating to registration;
and reporting) is delinquent if not received by the
Department on the date due as follows:
(1) Hard copy filings must be received by 5 p.m. in the
office. For quarterly expense reports, from 5 p.m.
until 12 a.m. midnight, a hard copy filing may be
filed with the Department's designee. The filing
location and the Department's designee will be on the
Department's web site.
i. Hard copy flings are no longer allowed
pursuant to Act 2018.2 (H.B.1175), § 2,
approved February 14, 2018, eff. April [15],
2018.
(2) Electronic filings may be filed until 12 a.m.
midnight.
Westmoreland Economic Dev Initiative for Growth, 20-003-L
Page 8
(b) A failure to timely file a registration statement, a quarterly
expense report, a separate expense report, a notice of
termination or an amendment to one of these filings
constitutes a failure to register or report as required by the
act; delinquency continues until the filing is received by the
Department in proper form.
51 Pa. Code § 51.4(a)-(b).
12. [In relation] to the filing requirements of quarterly expense reports, the Regulations read,
in part:
§ 55.1. Quarterly expense reports.
(a) A quarterly expense report is required to be filed as set forth
in this section when the total lobbying expenses of a
registered principal, registered lobbying firm or registered
lobbyist lobbying on the principal's behalf, together, exceed
[$3,000] in a quarterly reporting period. The threshold of
[$3,000] includes any economic consideration paid by a
principal to a lobbying firm or lobbyist for lobbying.
Individuals exempt under section 13A06 of the act (relating
to exemption from registration and reporting) need not
register or report.
(b) For a quarterly reporting period in which the total lobbying
expenses of a registered principal, registered lobbying firm
or registered lobbyist lobbying on the principal's behalf,
together, are [$3,000] or less, a statement to that effect shall
be filed With the Department by checking the appropriate
block on the quarterly expense report form.
(d) The principal shall file a quarterly expense report or
statement of failure to meet the reporting threshold on or
before the 30th day after the quarterly reporting period ends.
(g) A quarterly expense report of a principal required to be
registered under the act must include at least the following
information:
Westmoreland Economic Dev Initiative for Growth, 20-003-L
Page 9
(3) The total costs of all lobbying for the period. The
total must include all office expenses, personnel
expenses, expenditures related to gifts, hospitality,
transportation and lodging to State officials or
employees, and any other lobbying costs.
(i) The total amount reported under this
paragraph shall be allocated in its entirety
among the following categories:
(A) The costs for gifts, hospitality,
transportation and lodging given to or
provided to State officials or
employees or their immediate
families.
(B) The costs for direct communication.
(C) The costs for indirect communication.
(ii) Registrants shall use a good faith effort to
allocate expenses required to be reported
under this subsection to one of the three
categories listed herein. A given expense may
not be included in more than one category...
51 Pa. Code § 55.1(a), (b), (d), (g)(3)(i)-(ii).
13. By Waring Notice letter dated November 15, 2019, Respondent was served with notice
in accordance with Section 13A09 of the Lobbying Disclosure Law and Section 63.4(1) of
the Lobbying Disclosure Regulations of the specific allegations that Respondent failed to
file a quarterly expense report for the third (3d) quarter of 2019 and failed to properly
register with the Department of State when Respondent failed to include the name and
email of Respondent's authorized representative, employee, or agent on the registration.
a. Said Warning Notice was mailed to:
Westmoreland Economic Dev Initiative for Growth
136 Community Building Road
Leechburg, PA 15656
b. This is the same address as listed on Respondent's principal registration statement.
Westmoreland Economic Dev Initiative for Growth, 20-003-L
Page 10
By submitting the principal registration statement, Respondent consented to receipt
of service of notices, other official mailings or process, at the address listed on the
registration statement. (See, Paragraph 2(a) above).
14. Said Warning Notice letter set forth the nature of the alleged noncompliance and the
administrative and criminal penalties for failing to file.
15. Said Warning Notice letter provided Respondent an opportunity to cure the alleged
noncompliance and avoid the institution of these proceedings as to alleged noncompliance
by filing a quarterly expense report for the time period covering the third (Y) quarter of
2019 and amending its registration [statement] to include the name and email address of
an authorized representative, employee, or agent, with the Department of State within
thirty (30) days from the mailing date of the Warning Notice letter.
16. The Chief of the Division of Campaign Finance and Lobbying Disclosure for the
Department of State conducted a search of the Department of State's records, and, as of
January 10, 2020, no third (3rd) quarter 2019 expense report was found to have been filed
with the Department of State for Westmoreland Economic Dev Initiative for Growth.
17. The Lobbying Disclosure Law provides for civil and criminal penalties for failing to
comply with the registration statement filing and quarterly expense reporting requirements
thereof, Specifically, the Lobbying Disclosure Law provides that:
a. Negligent failure to register or report as required by this chapter is
punishable by an administrative penalty not exceeding the
following:
(i) For the first ten late days, $50 for each late day.
(ii) For each late day after the first ten late days through
the 201h late day, $100 for each late day.
(iii) For each late day after the first 20 late days, $200 for
each late day.
65 Pa.C.S. § 13A09(c)(1).
b. The total amount of the administrative penalty that may be levied after hearing by
a majority vote of all of the Commission Members shall not be limited by any other
provision of law. 65 Pa.C.S. § 13A09(c)(2).
C. Any person that fails to comply with the requirements of the Lobbying Disclosure
Law, after notice of noncompliance and after a hearing if one is requested, may be
prohibited ftom lobbying for economic consideration for up to five (5) years [in
accordance with 65 Pa.C.S. § 13A09(e)(4)]. 65 Pa.C.S. §§ 13A09(d), (e)(4).
Westmoreland Economic Dev Initiative for Growth, 20-003-L
Page 11
d. A person that intentionally fails to register or report as required by the law commits
a misdemeanor of the second degree. 65 Pa.C.S. § 13A09(e)(1).
e. A registrant who files a report under the law with knowledge that the report contains
a false statement or is incomplete commits a misdemeanor of the second degree.
65 Pa.C.S. § 13A09(e)(2).
f. Except as set forth in paragraph (d) or (c) above, a person that intentionally violates
[the Lobbying Disclosure Law] commits a misdemeanor of the third degree. In
addition to any other penalties imposed under [the Lobbying Disclosure Law], the
court may impose a fine not to exceed $25,000 against a principal who is found
guilty under [Section 13A09(e)(3) of the Lobbying Disclosure Law].
g. In addition to any criminal penalties imposed under [the Lobbying Disclosure
Law], the Commission may prohibit a person from lobbying for economic
consideration for up to five years for conduct which constitutes an offense under
[Section 13A09(e) of the Lobbying Disclosure Law]. Criminal prosecution or
conviction is not required for imposition of [such prohibition]. The Commission
shall not impose [such prohibition] unless the person has been afforded the
opportunity for a hearing, which shall be conducted by the Commission in
accordance with sections 1107(14) and 1108(e) [of the Public Official and
Employee Ethics Act, 65 Pa.C.S. §§ 1107(14) and 1108(e)]. 65 Pa.C.S. §
13A09(e)(4).
18. As of the date of the filing of the instant Notice of Alleged Noncompliance [January 22,
2020], Respondent's expense report was a total of eighty-three (83) days delinquent.
a. Respondent's third (3`d) quarter 2019 Expense Report was 83 days delinquent [as
of January 22, 2020] (October 31, 2019 — January 22, 2020).
1. The third quarter expense report period closed September 30, 2019. See,
65 Pa.C.S. § 13A03 Definitions -"Reporting period."
2. Expense reports [for the third (3`d) quarter of 2019 were due to be filed by]
October 30, 2019. See, 65 Pa.C.S. § 13A05(a).
3. The first day on which Respondent's third (3`d) quarter 2019 Expense
Report was delinquent was October 31, 2019.
19. As of the date of the filing of the instant Notice of Alleged Noncompliance [January 22,
2020], Respondent's third (3`d) quarter 2019 expense report continued to be delinquent, as
it had not yet been filed with the Department of State.
Westmoreland Economic Dev Initiative for Growth, 20-003-L
Page 12
20. As of the date of the filing of the instant Notice of Alleged Noncompliance [January 22,
20201, Respondent's registration [statement had been deficient for three hundred and fifty-
nine (359) days].
a. Respondent's principal registration statement was 359 days deficient [as of January 22,
20201.
1. The Lobbying Disclosure Law requires [that the name and, if available, the
email address of an authorized representative, employee or agent be included
within the principal registration statement as filed with the Department of State,
which requirement has been in effect since April 2018.] 65 Pa.C.S. §
13A04(b)(1)(iv) and (ix).
2. Respondent renewed its registration [statement] on January 28, 2019, for the
2019-2020 registration period.
The first day on which Respondent's principal registration [statement] was
deficient was January 28, 2019.
21. The thirty -day deadline set forth in the said Warning Notice letter to Respondent expired
with Respondent failing to comply with the specific requirements of the Lobbying
Disclosure Law.
22. [The Notice of Alleged Noncompliance asserts that this Commission may impose
maximum administrative penalties for both Respondent's failure to properly file a
principal registration statement and Respondent's failure to timely file a third (3`d) quarter
2019 Expense Report/statement of failure to meet the reporting threshold.]
23. [In addition to its authority to impose an administrative penalty for negligent failure to
register or report as required by the Lobbying Disclosure Law, 65 Pa.C.S. § 13A09(c), this
Commission has authority to prohibit a respondent that has intentionally violated the
Lobbying Disclosure Law from lobbying for economic consideration for up to five years,
pursuant to 65 Pa.C.S. § 13A09(e)(4).
a. The procedures for imposing a prohibition against lobbying for economic
consideration are set forth at 51 Pa. Code Chapter 65.]
24. There are no mitigating circumstances concerning Respondent's failure to timely file the
outstanding quarterly expense report.
III. DISCUSSION:
In the instant matter, the alleged noncompliance is that Respondent, in its capacity as a
principal: (1) failed to properly file a principal registration statement as required by Section 13A04
Westmoreland Economic Dev Initiative for Growth, 20-003-I,
Page 13
of the Lobbying Disclosure Law, 65 Pa.C.S. § 13A04, when Respondent failed to include on its
registration statement filed/renewed with the Department of State on January 28, 2019, for the
2019-2020 registration period, the name and email address of Respondent's authorized
representative, employee, or agent; and (2) negligently failed to timely file a quarterly expense
report pursuant to Section 13A05 of the Lobbying Disclosure Law, 65 Pa.C.S. § 13A05, for the
third (3rd) quarter of 2019.
The relevant provisions of the Lobbying Disclosure Law and certain relevant provisions of
the Lobbying Disclosure Regulations, 51 Pa. Code § 51.1 et ieq., are referenced in the Fact
Findings above. We shall now summarize the relevant facts.
Respondent initially registered as a principal with the Department of State on April 7,
2014, for the registration period January 1, 2013, through December 31, 2014. Respondent's
registration statement indicated that lobbying commenced on April 1, 2014.
Per the Department of State's web site, on January 28, 2019, Respondent filed/renewed a
registration statement as a principal for the registration period January 1, 2019, through December
31, 2020. However, Respondent failed to include the name and, if available, the e-mail address of
an authorized representative, employee, or agent, on its registration statement as required by
Section 13A04(b)(1)(iv) and (ix) of the Lobbying Disclosure Law, 65 Pa.C.S. § 13A04(b)(1) (iv)
and (ix).
Pursuant to Section 13A05 of the Lobbying Disclosure Law, 65 Pa.C.S. § 13A05, and
Section 51.3 of the Lobbying Disclosure Regulations, 51 Pa. Code § 51.3, expense reports are filed
on a quarterly basis. When a registered principal's total expenses for lobbying exceed $3,000 for
a reporting period/quarter, the principal is required to file a quarterly expense report with the
Department of State by no later than 30 days after the last day of such quarter. For a reporting
period in which total expenses are $3,000 or less, a statement to that effect must be filed with the
Department of State by the principal by checking the appropriate block on the quarterly expense
report form. 51 Pa. Code § 55.1(b). Thus, a registered principal must file either a quarterly
expense report or a statement of failure to meet the reporting threshold by no later than the 30th
day after each quarterly reporting period ends. 51 Pa. Code § 55.1(d).
Having filed/renewed a registration statement on January 28, 2019, for the registration
period January 1, 2019, through December 31, 2020, Respondent was required to file either a
quarterly expense report or a statement of failure to meet the reporting threshold for the third
quarter of 2019. Respondent failed to timely file either.
Failure to meet the aforesaid filing requirement(s) constitutes a failure to register and report
as required by the Lobbying Disclosure Law, and the deficiency/delinquency continues until the
filing is received by the Department of State in proper form. 51 Pa. Code §§ 51.4-51.5.
By Warning Notice letter dated November 15, 2019, Respondent was served with notice
of the alleged noncompliance in accordance with Section 63.4(1) of the Lobbying Disclosure
Westmoreland Economic Dev Initiative for Growth, 20-003-L
Page 14
Regulations., 51 Pa. Code § 63.4(1). The Warning Notice letter provided Respondent an
opportunity to cure the alleged noncompliance and avoid the institution of these proceedings by
amending its registration statement to include the name and, if available, the e-mail address of an
authorized representative, employee, or agent and by filing a quarterly expense report for the third
quarter of 2019 with the Department of State within thirty (30) days of the mailing date of the
Warning Notice letter.
Per the Department of State's website, as of September 23, 20201, Respondent has failed
to amend its registration statement to include the name and, if available, the e-mail address of an
authorized representative, employee, or agent.
As of January 10, 2020, no third quarter 2019 expense report was found to have been filed
with the Department of State for Respondent. Per the Department of State's website, Respondent
submitted a third quarter 2019 expense report/statement of failure to meet the reporting threshold
on January 29, 2020. We take administrative notice of the following facts:
(1) Respondent's third quarter 2019 expense report/statement of failure
to meet the reporting threshold, as it appears on the Department of
State's web site, has zeroes in the blocks for disclosure of expenses,
and given that there is no longer a block on the form to check when
the $3,000 reporting threshold is not exceeded, it is impossible to
discern from the face of the form whether amounts should have been
listed in the blocks or the form was merely a statement of failure to
meet the reporting threshold; and
(2) Respondent's third quarter 2019 expense report/statement of failure
to meet the reporting threshold, as it appears on the Department of
State's web site, has been affirmed by lobbying firm Duane Morris
Government Strategies LLC accompanied by a Statement of
Limited Knowledge dated January 30, 2020.
An application of Section 13A09(a), (c) of the Lobbying Disclosure Law to this case
establishes that this Commission has the discretion to impose two maximum administrative
penalties against Respondent, specifically, a maximum administrative penalty for the aforesaid
deficient registration statement and a maximum administrative penalty for the aforesaid delinquent
third quarter 2019 expense report/statement of failure to meet the reporting threshold.
The prerequisite service of a warning notice in accordance with Section 63.4(1) of the
Lobbying Disclosure Regulations, 51 Pa. Code § 63.4(1), was satisfied. Respondent did not cure
'This matter was originally scheduled to be adjudicated by the Commission at its September 23, 2020 Public Meeting.
This matter was subsequently removed from the agenda prior to consideration by the Commission. The Investigative
Division noted that it intended to not seek additional civil penalties against the Respondent for any additional days
beyond September 23, 2020 that Respondent's registration remained deficient. Therefore, the calculation of any
additional delinquency/deficiency per diem penalty has been tolled as of September 23, 2020.
Westmoreland Economic Dev Initiative for Growth, 20-003-L
Page 15
its noncompliance with the Lobbying Disclosure Law within the 30-day cure period. The
Investigative Division then instituted formal proceedings against the Respondent by filing with the
State Ethics Commission and sewing upon Respondent a Notice of Alleged Noncompliance.
Respondent did not file an Answer, Appeal, or other Request for Hearing as to the Notice of
Alleged Noncompliance.
We hold that Westmoreland Economic Dev Initiative for Growth, in its capacity as a
principal, violated Section 13A04 of the Lobbying Disclosure Law, 65 Pa.C.S. § 13A04, when it
failed to include on its registration statement filed/renewed with the Department of State on
January 28, 2019, for the 2019-2020 registration period, the name and, if available, the email
address of its authorized representative, employee, or agent.
We further hold that Westmoreland Economic Dev Initiative for Growth, in its capacity as
a principal, violated Section 13A05 of the Lobbying Disclosure Law, 65 Pa.C.S. § 13A05, when
it failed to timely file with the Department of State a third quarter 2019 expense report/statement
of failure to meet the reporting threshold.
Based upon the record, we determine that the two violations of the Lobbying Disclosure
Law outlined above were negligent in nature, and there is no basis in the record for imposing less
than two maximum administrative penalties against Respondent. See, 51 Pa. Code § 63.6(3).
The Regulations promulgated under the Lobbying Disclosure Law specifically provide the
following in relation to the calculation of an administrative penalty for a late or deficient filing:
§ 63.6. Administrative penalties for late or deficient filings.
(2) An administrative penalty will be calculated from the first day the
registration statement or report is delinquent or deficient, through
the date a complete and accurate registration statement or report is
filed or the Commission decides the matter, whichever occurs first.
51 Pa. Code § 63.6(2).
Negligent failure to register or report as required by the Lobbying Disclosure Law is
punishable by an administrative penalty not exceeding the following: (1) for the first ten late days,
$50.00 for each late day; (2) for each late day after the first ten late days tlu•ough the 20th late day,
$100 for each late day; and (3) for each late day after the first 20 late days, $200 for each late day.
65 Pa.C.S. § 13A09(c)(1).
Respondent's registration statement has been deficient for a total of 605 days, from January
28, 2019, through September 23, 2020. The maximum penalty that may be imposed for
Respondent's deficient January 28, 2019, registration statement is $118,500,00 calculated as
follows: $50 per day for the first ten days the January 28, 2019, registration statement was
deficient, plus $100.00 per day for the next ten days the January 28, 2019, registration statement
Westmoreland Economic Dev Initiative for Growth, 20-003-L
Page 16
was deficient, plus $200 per day for the remaining 585 days the January 28, 2019, registration
statement was deficient (10 days x $50.00 + 10 days x $100.00 + 585 x $200.00 = $118,500.00).
Respondent's third quarter 2019 expense report/statement of failure to meet the reporting
threshold was delinquent for a total of 90 days, from October 31, 2019, through January 28, 2020.
We exclude the date of submission, January 29, 2020, from the calculation. The maximum penalty
that may be imposed for Respondent's delinquent third quarter 2019 expense report/statement of
failure to meet the reporting threshold is $15,500.00 calculated as follows: $50 per day for the
first ten days the third quarter 2019 expense report/statement of failure to meet the reporting
threshold was delinquent, plus $100.00 per day for the next ten days the third quarter 2019 expense
report/statement of failure to meet the reporting threshold was delinquent, plus $200 per day for
the remaining 70 days the third quarter 2019 expense report/statement of failure to meet the
reporting threshold was delinquent (10 days x $50.00 + 10 days x $100.00 + 70 x $200.00 =
$15,500,00).
Pursuant to Section 13A09(c) of the Lobbying Disclosure Law, 65 Pa.C.S. § 13A09(c),
this Commission hereby levies two maximum administrative penalties against Respondent
Westmoreland Economic Dev Initiative for Growth in the amounts of $118,500.00 and
$15,500.00, for the total amount of $134,000.00, calculated as follows:
(1) A maximum administrative penalty in the amount of$118,500,00 for Respondent's
deficient January 28, 2019, registration statement, calculated as follows: $50 per
day for the first ten days the January 28, 2019, registration statement was deficient,
plus $100.00 per day for the next ten days the January 28, 2019, registration
statement was deficient, plus $200 per day for the remaining 585 days the January
28, 2019, registration statement was deficient (10 days x $50.00 + 10 days x
$100.00 + 585 x $200.00 = $118,500.00); and
(2) A maximum administrative penalty in the amount of $15,500.00 for Respondent's
delinquent third quarter 2019 expense report/statement of failure to meet the
reporting threshold, calculated as follows: $50 per day for the first ten days the
third quarter 2019 expense report/statement of failure to meet the reporting
threshold was delinquent, plus $100.00 per day for the next ten days the third
quarter 2019 expense report/statement of failure to meet the reporting threshold was
delinquent, plus $200 per day for the remaining 70 days the third quarter 2019
expense report/statement of failure to meet the reporting threshold was delinquent
(10 days x $50.00 + 10 days x $100.00 + 70 x $200.00 = $15,500.00).
Respondent Westmoreland Economic Dev Initiative for Growth is ordered to pay the
aforesaid two administrative penalties in the total amount of $134,000.00 by way of certified
check(s) or money order(s) in the total amount of $134,000.00 payable to the Commonwealth of
Pennsylvania and forwarded to this Commission by no later than the thirtieth (30) day after the
mailing date of this adjudication and Order.
Westmoreland Economic Dev Initiative for Growth, 20-003-L
Page 17
Noncompliance will result in the Commission initiating appropriate enforcement action(s).
IV. CONCLUSIONS OF LAW:
1. As a principal that filed/renewed a registration statement on January 28, 2019, with the
Pennsylvania Department of State ("Department of State") under principal registration
number "P42370" for the 2019-2020 registration period, Westmoreland Economic Dev
Initiative for Growth has been subject to the registration and reporting requirements of
Sections 13A04 and 13A05 of Pennsylvania's lobbying disclosure law ("Lobbying
Disclosure Law"), 65 Pa.C.S. §§ 13A04 and 13A05.
2. Westmoreland Economic Dev Initiative for Growth, in its capacity as a principal, violated
Section 13A04 of the Lobbying Disclosure Law, 65 Pa.C.S. § 13A04, when it failed to
include on its registration statement filed/renewed with the Department of State on January
28, 2019, for the 2019-2020 registration period, the name and, if available, the email
address of its authorized representative, employee, or agent.
3. Westmoreland Economic Dev Initiative for Growth, in its capacity as a principal, violated
Section 13A05 of the Lobbying Disclosure Law, 65 Pa.C.S. § 13A05, when it failed to
timely file with the Department of State a third quarter 2019 expense report/statement of
failure to meet the reporting threshold.
4. The violations of the Lobbying Disclosure Law outlined in paragraphs 2 and 3 above are
deemed to be negligent in nature.
The prerequisite service of a warning notice in accordance with Section 63.4(1) of the
Lobbying Disclosure Regulations, 51 Pa. Code § 63.4(1), was satisfied.
6. Based upon the totality of the circumstances in this case, the imposition of two maximum
administrative penalties is warranted.
In Re: Westmoreland Economic File Docket: 20-003-L
Dev Initiative for Growth, Date Decided: 6/23/21
Respondent Date Mailed: 6/30/21
ORDER NO. 151-SL
As a principal that filed/renewed a registration statement on January 28, 2019, with the
Pennsylvania Department of State ("Department of State") under principal registration
number "P42370" for the 2019-2020 registration period, Westmoreland Economic Dev
Initiative for Growth violated Section 13A04 of Pennsylvania's lobbying disclosure law
("Lobbying Disclosure Law"), 65 Pa.C.S. § 13A04, when it failed to include on such
registration statement the name and, if available, the email address of its authorized
representative, employee, or agent.
2. Westmoreland Economic Dev Initiative for Growth, in its capacity as a principal, violated
Section 13A05 of the Lobbying Disclosure Law, 65 Pa.C.S. § 13A05, when it failed to
timely file with the Department of State a third quarter 2019 expense report/statement of
failure to meet the reporting threshold.
The violations of the Lobbying Disclosure Law outlined in paragraphs 1 and 2 above are
deemed to be negligent in nature.
4. Pursuant to Section 13A09(c) of the Lobbying Disclosure Law, 65 Pa.C.S. § 13A09(c),
this Commission hereby levies two maximum administrative penalties against Respondent
Westmoreland Economic Dev Initiative for Growth in the amounts of $118,500.00 and
$15,500.00, for the total amount of $134,000.00, calculated as follows:
a. A maximum administrative penalty in the amount of $118,500.00 for Respondent's
deficient January 28, 2019, registration statement, calculated as follows: $50 per
day for the first ten days the January 28, 2019, registration statement was deficient,
plus $100.00 per day for the next ten days the January 28, 2019, registration
statement was deficient, plus $200 per day for the remaining 585 days the January
28, 2019, registration statement was deficient (10 days x $50.00 + 10 days x
$100.00 + 585 x $200.00 = $118,500.00); and
b. A maximum administrative penalty in the amount of $15,500.00 for Respondent's
delinquent third quarter 2019 expense report/statement of failure to meet the
reporting threshold, calculated as follows: $50 per day for the first ten days the
third quarter 2019 expense report/statement of failure to meet the reporting
threshold was delinquent, plus $100.00 per day for the next ten days the third
quarter 2019 expense report/statement of failure to meet the reporting threshold was
delinquent, plus $200 per day for the remaining 70 days the third quarter 2019
Page 19
expense report/statement of failure to meet the reporting threshold was delinquent
(10 days x $50.00 + 10 days x $100.00 + 70 x $200.00 = $15,500.00).
5. Westmoreland Economic Dev Initiative for Growth is ordered to pay the aforesaid two
administrative penalties in the total amount of $134,000.00 by way of certified check(s) or
money order(s) in the total amount of $134,000,00 payable to the Commonwealth of
Pennsylvania and forwarded to this Commission by no later than the thirtieth (301h) day
after the mailing date of this Order.
6. Noncompliance with Paragraph 5 of this Order will result in the Commission initiating
appropriate enforcement action(s).
BY THE COMMISSION,
Nicholas A. Colafella,. air